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Updated: October 2023 Duty to Supervise- FINRA Rule 3010 Per FINRA: “Supervision This rule requires NASD-registered firms to establish and maintain a system to supervise the activities of their registered…
read moreJuly 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…
read moreDecember 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…
read moreOctober 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…
read moreMarch 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…
read moreLast Updated: May 2024 Kestra Investment Services Investigation Summary Here’s what you need to know about Austin ,Texas , headquartered brokerage firm Kestra Investment Services : Name: Kestra Investment Services.…
read moreLast Updated: April 2024 LPL Financial Investigation Summary Here’s what you need to know about Fort Mill, SC, headquartered brokerage firm LPL Financial: Name: LPL Financial LLC Function: Stock Brokerage…
read moreLast Updated: April 2024 (Bethpage, New York) Ted Agrillo Investigation Summary Here’s what you need to know about Bethpage, NY, stockbroker Theodore Agrillo: Name: Mr. Theodore Richard Agrillo, III Current…
read moreLast Updated: April 2024 (Newport Beach, CA) Mike Depaul Investigation Summary Here’s what you need to know about Newport Beach, CA, stockbroker Mike Depaul: Name: Mr. Lawence Michael Depaul, Jr.…
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